Investment Advisor-December 2009

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  • Changes

    Staff Writer

    Moneta Group, the St. Louis-based independent financial planning and consulting firm, has announced that William Hornbarger has come on board as chief market strategist ? Sara...

  • Checking It Out

    Tere D'amato, Tere D'amato

    While charities are required by the Philanthropy Protection Act of 1995 to provide a disclosure prior to accepting a donation, very little in the disclosure...

  • Numerology: LTC Costs Spike

    James J. Green

    While inflation might be tamed in the overall economy, price cuts have yet to hit long-term care. The 2009 MetLife Market Survey of Nursing Home,...

  • ING Sells Three B/Ds

    James J. Green

    On November 3, ING said it had agreed to sell three of its U.S. broker/dealers that comprise the ING Advisors Network to Lightyear Capital LLC,...

  • Putting SRI Into Practice: Andy Loving

    Bob Keane

    "I used to organize people to create social change," says Andy Loving of Just Money Advisors who, unlike many advisors, didn't come to socially responsible...

  • B/D Briefing: Surprise Broker Sentiment

    Kate McBride

    Days after Sen. Chris Dodd (D-Connecticut), the chairman of the Senate Committee on Banking, Housing, and Urban Affairs, introduced on November 10 a sweeping plan...

  • Broker/Dealer News

    Staff Writer

    To focus resources on its existing qualifying RIAs and attract additional, higher-level advisors, Raymond James Financial Services' Investment Advisors Division (RJFS-IAD) says it is raising...

  • Solutions for the New Retirement Reality

    James J. Green

    In the wake of the market meltdown that devastated many a retiree or near-retiree's portfolio, what is the role of the advisor? In a two-day...

  • Putting SRI Into Practice: Jennifer Lazarus

    Bob Keane

    "I call myself the financial planner to the socially responsible investor," explains this solo practitioner. After two years with another firm she launched her own...

  • Insurance Update: Kiss of Death?

    Marlene Y. Satter

    Everybody seems to agree that life settlements themselves have a valid function. After all, if you've got a sizeable policy but no longer need the...

  • Retirement News

    Melanie Waddell

    In testimony October 28 before the Senate Special Committee on Aging, Phyllis Borzi, assistant secretary of labor for the U.S. Department of Labor's Employee Benefits...

  • Catching Up With...Gary Gallagher

    James J. Green

    Gary Gallagher jokes that while he recently was given a new title that's longer than the old one he held at LPL Financial, "that doesn't...

  • Walking the Fiduciary Line on Retirement

    Steve Weydert, CFP, MS

    The definition ERISA uses for fiduciary status is functional, which means that even if brokers or registered representatives do not acknowledge that they are acting...

  • Asset Allocation

    Staff Writer

    Behind the Numbers, with Sam Stovall In his most recent global equity strategy report S&P's chief investment strategist noted that November began what has often been...

  • The ETF Advisor: Basic Materials ETFs

    Vaughan Scully

    Every day, investors are bombarded with economic data offering clues to future market movements. As the U.S. and global economies begin to emerge from recession,...

  • The Back to Basics Cycle

    James J. Green

    There's a pas de deux that occurs when I interview someone for the Web or the magazine. In such a conversation, I will proceed to...

  • GroupThink

    Staff Writer

    The Financial Planning Association (FPA) has announced Martin Kurtz as the group's 2010 president-elect. He succeeds Tom Potts, who assumes the FPA's presidency on January...

  • On the Other Hand

    Marlene Y. Satter

    Doug Head, executive director of the Life Insurance Settlement Association (LISA), flatly denies that STOLI is a problem, and if it is, he says, it's...

  • Upgrades

    Staff Writer

    Fidelity Institutional Wealth Services and National Financial introduced Nov. 11 "Insight & Outlook," a new program that offers FIWS's RIAs, and National Financial's broker/dealers, access...

  • The Fast Track: Figures Don't Lie

    Angie Herbers

    There sure are a lot of surveys of advisory practices these days; Moss Adams, the FPA, Quantuvus, the myriad Schwab studies, and the FA Insight...

  • The Green Advisor: WalMart Shows the Way

    Bob Keane

    I've been to a number of advisor industry conferences over the last five years--some put on by custodians or broker/dealers and others by professional associations....

  • Out of the Fire

    Maya Ivanova

    "If a Category 5 financial storm comes, you better have a plan," warns Steve Chapman, VP and portfolio manager at Weiss Capital Management, a Palm...

  • Danger & Opportunity: REITs on the Rise

    Melanie Waddell

    It looks as though the REIT market is poised for growth. A recent report by global consulting firm Mercer titled "Recapitalization and Recovery in the...

  • Expert's Corner: Look Before You Give

    Tere D'amato, Tere D'amato

    The holiday season often brings out the best in us. December is historically the peak month for charitable donations, but in today's economy, charities, like...

  • Schwab Ups the Ante on ETFs

    James J. Green

    Schwab Investment Management Services announced November 2 that it is launching its own lineup of Schwab-branded ETFs that feature very low expense ratios and which...

  • Clark at Large: An Expert's Expert

    Bob Clark, Bob Clark

    When I started reading his marketing pitch, my heart sank. I wanted to like Larry Chambers's new Attraction Marketing program for financial advisors, I really...

  • Eight-Step Program

    Steve Adams

    Ask most people what they like about working with any small business and you'll hear answers such as their "personal approach" or "I'm not just...

  • Retirement Planning: Income Plans, Merrill Style

    Melanie Waddell

    Merrill Lynch Global Wealth Management announced October 26 a new retirement income program, available to its 15,000 brokers, one of whose components--My Retirement Income--allows clients...

  • The Pulse Quickens

    Kate McBride

    Below is the inaugural Top Wealth Managers Quarterly Pulse Rankings from WealthManagerWeb.com. The popular Top Wealth Managers survey and rankings are expanding from an annual...

  • Fiduciary Pushback

    Melanie Waddell

    The American College, which provides educational exams for the Certified Financial Planner mark and other planner designations, supports an amendment to the Investor Protection Act...

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